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ETF & 1940 Act Registered Funds Compliance Officer - Vice President

iCapital - Greenwich, Connecticut, United States

Posted May 22, 2026

Benefits

Parental leave
Not verified
Non-birth-parent leave
Not verified
Family-building benefits
  • Fertility benefits: Not verified
  • Adoption assistance: Not verified
  • Surrogacy assistance: Not verified
Mental health support
Not verified
Relocation assistance
Not verified
Childcare support
Not verified
Learning budget
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Verification
Not verified
Salary
$150K-$175K From the posting source checked Jun 20, 2026
401(k) match
Not verified

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Market context

U.S. role benchmark (BLS OEWS)
$61,842 U.S. median for this role
Projected growth (BLS Employment Projections)
+1.9% - Slower

163% above the BLS role benchmark for operations aggregate.

Matched to SOC 11-1021 - Operations aggregate by role bucket.

Source: U.S. Bureau of Labor Statistics, OEWS, May 2024 and Employment Projections, 2024-2034.

Role

Role function
Operations From the posting source checked Jun 20, 2026
Seniority
Director Plus From the posting source checked Jun 20, 2026

Schedule

Shift type
Not verified
Weekend work
Not verified

Company

Equity
Offered From the posting source checked Jun 20, 2026

Application

Cover letter
Not verified
Assessment
Not verified
Deadline
Not stated

Where they hire

State eligibility is not yet verified.

About this role

ETF & 1940 Act Registered Funds Compliance Officer - Vice President Greenwich, Connecticut, United States About the Role iCapital is looking to hire a Compliance Officer to oversee the relevant investment advisers supporting the Exchange-Traded Funds (ETF) and 1940 Act Registered Funds businesses. This individual will also be responsible for assisting and/or leading the implementation and administration of compliance programs for the firm's SEC Registered Investment Advisers, NFA and CFTC registered Commodity Pools, and other compliance-related activities as they relate to these products or entities. Responsibilities - Maintain expert knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑ - Monitor and advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking. - Design, implement, and maintain compliance programs under Rule 206(4)‑7 and Rule 38a‑1 for '40 Act trusts, registered investment advisers, and commodity pool operators. - Provide compliance leadership and support for ETF and Registered Funds initiatives, including identifying regulatory risks and developing practical solutions. - Advise Product, Portfolio Management, Operations, and other stakeholders on product structuring, operations, investment strategies, and disclosures. - Lead compliance efforts for ETF and Registered Funds launches and product changes from concept through effectiveness and post‑launch execution. - Translate regulatory requirements and fund governing documents into scalable policies, procedures, and compliance controls. - Oversee product‑specific compliance obligations, including disclosure monitoring, premium or discount reporting, and regulatory filings. - Conduct pre‑ and

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